Business Associate, Regulatory Compliance Specialist

Job Overview

Associate, Regulatory Reporting - Trade Level with Goldman Sachs Services LLC in Dallas, Texas. Responsible for reviewing and conducting exception management on regulatory reports submitted to agencies such as FINRA and the SEC, ensuring compliance with global regulatory requirements. Working with Business Intelligence tools, including Alteryx and SQL, to develop BI solutions and define strategies. Analyzing large data sets to ensure accuracy, addressing discrepancies, and collaborating with technology teams to build and maintain efficient data pipelines.

Identify and address control gaps, automate manual processes, and enhance existing reporting systems to improve efficiency and reduce risk. Work closely with internal teams including Engineering, Middle Office, Legal, and Compliance to align reporting practices with business objectives while serving as a liaison with regulatory agencies. Conduct risk and compliance monitoring and prepare updates for senior management. Participate in projects related to regulatory requirements, collaborate with global teams to implement changes, and provide regular updates on progress.

Working with internal and external counter parties, including stakeholders in the business, engineering, compliance, legal, counselors, and clients.

• Review and conduct exception management on regulatory reports submitted to agencies such as FINRA and the SEC.
• Ensure compliance with global regulatory requirements.
• Develop BI solutions using Alteryx and SQL.
• Define strategies for data analysis and reporting.
• Analyze large datasets to ensure accuracy and resolve discrepancies.
• Build and maintain efficient data pipelines in collaboration with technology teams.
• Identify and address control gaps and automate manual processes.
• Enhance existing reporting systems to improve efficiency and reduce risk.
• Coordinate with internal teams such as Engineering, Middle Office, Legal, and Compliance.
• Serve as liaison with regulatory agencies.
• Conduct risk and compliance monitoring and prepare updates for senior management.
• Participate in projects related to regulatory requirements and collaborate with global teams to implement changes.
• Provide regular updates on progress to stakeholders.

• Bachelor’s degree (U.S. or foreign equivalent) in Finance, Economics, Business Analytics, Civil Engineering, or a related field.
• Two (2) years of experience in the job offered or a related role.
• Prior two (2) years of experience with US-based regulatory obligations from FINRA, SEC, or FDIC.
• Experience with business intelligence tools including Alteryx.
• Proficiency in SQL (Structured Query Language).
• Experience analyzing large datasets to ensure data accuracy and resolve discrepancies.
• Experience conducting risk and compliance monitoring.
• Experience in process automation to improve reporting efficiency and reduce operational risk.
• Familiarity with market and financial instruments including equities, exchange‑traded derivatives, and OTC derivatives for regulatory reporting.
• Experience with project management tools including JIRA.

• Medical, dental, short‑term disability, long‑term disability, life, accidental death, labor accident, and business travel accident insurance.
• Competitive vacation policies with a minimum of three weeks expected vacation usage each year.
• Financial wellness and retirement support, including financial education and planning resources.
• Health services such as medical advocacy, Employee Assistance Program (EAP), global medical, security, and travel assistance, and workplace ergonomics program.
• On‑site fitness center access and reimbursement for fitness club memberships up to a pre‑approved amount.
• On‑site child care centers with full‑time and emergency back‑up care, mother and baby rooms, and homework rooms. Additional support for expectant parents, adoption, surrogacy, and related stipends.